Now, you are at the last phase of complying with the IP, ethics and privacy policies and procedures. You must contribute to identifying incidents of non-compliance. It starts with identifying and assessing the existing risks of the policies and procedures. It involves flagging instances where the organisation may be violating its policies. Some examples of these incidents are mentioned earlier. They include unauthorised data access, ethical violations and privacy breaches.
Then, you will understand their root causes, context and implications. You will move on to reviewing internal and external non-compliance incidents. This will include a review of IP infringement incidents. Then, you will make recommendations to overcome or resolve these incidents. Finally, you must look into the potential areas of risk and non-compliance and report them to relevant personnel.
This process helps improve the organisation's compliance with IP, ethics and privacy policies. It also fosters a culture of proactive correction and ongoing enhancement.
By the end of this subtopic, you will learn how to:
- contribute to organisation risk identification and assessment processes
- review internal and external non-compliance and IP infringement incidents
- recommend actions to overcome non-compliance incidents
- determine and report areas of potential risk and non-compliance.
Organisations have risk identification and assessment processes. Contributing to them means participating in recognising and understanding risks within the organisation. Doing so helps with the following:
- Risk prevention: By contributing, you help identify organisational risks early on. This allows the organisation to take proactive steps to prevent or manage risks before they escalate.
- Enhanced decision-making: You help stakeholders understand the potential impacts and consequences of identified risks. Thus, they can make well-informed choices and strategies for preventing or managing risks.
- Compliance: You help the organisation avoid potential legal and regulatory issues. This ensures the organisation remains compliant with relevant regulations and standards.
Overall, ensure the organisation is well-prepared to handle any potential risks.
Risk Identification
It is a systematic approach to recognising and understanding threats or challenges. These threats or challenges may impact an organisation's objectives, assets or operations. The exact process may differ from one organisation to another. However, here are the common steps you can follow to contribute to risk identification:
Support the gathering of data from internal sources. They include incident reports, historical data and past risk assessments. You may also use the documentation of potential risks as a starting point.
Collaborate with personnel across departments to understand their unique challenges. Join cross-functional workshops or brainstorming sessions. Encourage colleagues to share their observations, insights and concerns about potential risks. This will contribute to collective understanding.
Help confirm all information gained about existing and potential risks. You may use risk identification tools. Here are some examples of tools you can use:
- SWOT analysis: This method provides a holistic perspective to identify potential risks and advantages. It evaluates the organisation's:
- Internal strengths and weaknesses
- External opportunities and threats.
- PESTLE analysis: This tool evaluates political, economic, social, technological, legal and environmental factors. It identifies potential external influences that may lead to risks.
- Failure mode and effects analysis: It is a structured method that identifies the possible failure modes within systems. It predicts the potential effects of the risk and their likelihood.
- Checklists: They are structured lists containing the common or risk categories. You can use them as a guide when identifying risks.
Contribute to maintaining a central risk register to record and document all identified risks. The documentation must have comprehensive coverage and accuracy in risk management efforts. Ensure it contains the following:
- List of identified risks: It is the comprehensive catalogue or list of risks related to IP, ethics and privacy.
- Risk categorisation: It groups the identified risks into categories based on their nature, source or impact.
- Risk profile: It is the detailed profiles or summaries of each risk. It outlines the characteristics and potential consequences of the risks.
Risk Assessment
Risk assessment is the evaluation of identified risks. It aims to know their potential impact, likelihood of occurrence and how to manage them. Like identification, risk assessment may differ depending on the organisation. However, here are the general steps involved:
Work with relevant stakeholders to define the criteria for assessment. Gather insights from various departments to determine key factors for evaluating risks. Typically, they involve severity, likelihood and financial impact.
Help the assessment team assess each identified risk against the predetermined assessment criteria. Provide insights, data or observations to contribute to a comprehensive evaluation. You may use tools for assessment, such as bowtie analysis. It depicts the connections between risks and potential outcomes. This will help assess the potential impact of risks on the organisation.
Aid in developing a consistent scoring system for evaluating risks. You may use a risk matrix to measure the severity of risks. This will help highlight the most critical risks. Then, offer insights into how the risks might align with the scoring system.
Participate in ranking risks based on their scores or assigned values. Then, offer suggestions on how to prioritise risks. Typically, you prioritise risks according to their severity, likelihood and potential impact. Then, assist in determining which risks need immediate attention.
Summarise the assessed risks, their scores and prioritisation levels in detailed reports. You may suggest to the team to apply heat maps, which use colours to represent different risks. It allows visualisation of concern areas by indicating high-risk segments in red and low-risk sections in green.
Now, you must review the incidents of internal and external non-compliance of the organisation. Then, also look into the IP infringement incidents. This process contributes to the development of recommendations for non-compliance incidents. Here are some reasons why:
By examining incidents, the organisation looks into the reasons for non-compliance. This helps the organisation know which laws and regulations to focus on when making suggestions.
It helps the organisation know which actions can help maintain a good reputation. This will improve their credibility and trust among stakeholders.
It aids in identifying how to protect IP, preventing the loss or misuse of these assets. This reduces financial losses, which can affect the organisation's operations.
By protecting IP, the organisation can continue innovating. They can get insights on how to remain competitive in the market while preserving the value of their creations.
Non-compliance Incidents
These are events where established rules or requirements are not followed. Internally, it happens when the organisation breaks its policies and procedures. Externally, it is when the organisation violates government and industry standards. These incidents have legal, ethical or industry-standard consequences. When reviewing non-compliance incidents, the goal is to understand why they happen. Before the review, you must know the non-compliance incidents first.
Here are some common examples of internal non-compliance incidents:
- Unauthorised data access – Unauthorised or illegal access of sensitive company data by employees. An example is a marketing department employee accessing confidential HR files. It leads to confidentiality breaches, potential misuse of data and security risks.
- Failure to follow internal security policies – Disregard for the established security measures within the company. For example, an employee turns off the firewall setting or uses weak passwords. This leads to increased vulnerability to cyber threats and compromised systems.
- Misuse of company resources – Inappropriate or unauthorised use of organisational resources for personal tasks. For example, an employee may use company computers for extensive personal browsing or gaming. It results in reduced productivity, increased utility costs and network congestion.
Watch
Watch this short video (2:58 minutes) discussing the misuse of company resources by an employee who uses the company computer for personal browsing, leading to risks and noncompliance.
Here are common examples of external non-compliance incidents:
| Data protection violations | It is the failure to follow data protection laws, causing unauthorised access to sensitive information. An example is an employee mishandling customer data, leading to a data breach. This may result in legal penalties, loss of customer trust and damage to reputation. |
| Non-compliance with IT standards | This happens when the organisation does not align with the industry's best practices and standards in IT. For example, the organisation failed to update systems regularly. It leads not only to legal and regulatory issues but also to compromised systems. |
| Cybersecurity lapses | It is when the organisation does not follow cybersecurity guidelines. An example is when the organisation has inadequate security protocols. It may cause a cyberattack, such as hacking or data theft. This may result in loss of data, financial damage and reputational harm. |
Aside from non-compliance incidents, you must also review IP infringement incidents. They are a subset of non-compliance incidents that involve IP rights. They can also be internal or external. You may review them with the general incidents. However, it is crucial to address them separately due to their unique legal and proprietary nature. By examining incidents of IP infringement, organisations can better protect their proprietary assets.
Here are some examples of internal IP infringement incidents:
- Using copyrighted material or software without the appropriate license or permissions
- Disclosing confidential business information to unauthorised individuals or competitors within the company
- Developing products or technologies that violate the organisation's own patents
Examples of external IP infringement incidents include the following:
- Illegal use or distribution of copyrighted content or software by external entities
- Unauthorised use of a company's logo, brand name or distinctive marks by external parties
- Counterfeiting of products that imitate an organisation's brand or trademark without permission
To review these incidents, you must perform different methods. Note that the review methods for internal incidents are different for external incidents. First, here are some methods to review internal non-compliance and IP infringement incidents:
Establish an incident reporting system within the organisation. This will help employees report instances of non-compliance and IP infringement easily. Then, monitor the incident reporting system and review submitted reports. Categorise incidents and analyse them to identify patterns or recurring issues.
Conduct regular internal audits and assessments. You may review internal processes, contracts and IP protection measures. Then, identify potential non-compliance and IP infringement incidents.
Monitor internal data and communications for signs of non-compliance and IP infringement. You may employ advanced data monitoring tools to analyse employee communications and data access logs. Then, look for signs of non-compliance and IP infringement. Adjust monitoring parameters to enhance detection capabilities.
Conduct scheduled intellectual property audits. Review the organisation's IP portfolio and usage records. Focus on identifying any unauthorised use or misappropriation of IP assets.
Here are some methods to review external non-compliance and IP infringement incidents:
| Method | Description |
|---|---|
| External incident monitoring | Monitor external sources, including industry reports, news and regulatory bodies. Gather information on incidents related to non-compliance and IP infringement by external entities. Update the monitoring process to stay informed about the external landscape. |
| Third-party due diligence | Establish a systematic process for conducting due diligence. Then, apply it to the organisation's external partners, vendors and suppliers. This will ensure they comply with laws and regulations. This will also confirm they respect your organisation's intellectual property rights. |
| IP watch | Track potential infringements of your organisation's IP by external entities. You may use IP monitoring and watch services for this. Then, set up alerts and notifications for timely awareness of potential IP infringements. |
| Legal database review | Review legal databases and public records. In particular, look into lawsuits or legal actions involving external entities. Then, identify those related to non-compliance or IP infringement. Document findings and analyse trends in legal disputes involving external entities. |
By recommending actions to overcome non-compliance incidents, you continue your contribution to developing recommendations for non-compliance incidents. Recommending means proposing changes to the relevant personnel to address the identified compliance issues. This process ensures the following:
- Resolution and prevention: It allows the organisation to address existing non-compliance issues. It also helps prevent their recurrence in the future.
- Mitigation of risks: It minimises risks associated with non-compliance. As a result, it prevents legal problems, financial losses or damage to reputation.
- Legal and ethical compliance: It demonstrates the organisation's commitment to following legal and ethical standards.
Overcoming non-compliance incidents involves fixing issues in organisational policies and procedures. The actions you must recommend for overcoming may include steps, strategies or measures to address the problems. Here is a table of non-compliance incidents from earlier with actions you can recommend to overcome them:
| Non-Compliance Incidents | Recommend Actions to Overcome Non-Compliance Incidents |
|---|---|
| Unauthorised data access |
|
| Misuse of company resources |
|
| Failure to follow internal security policies |
|
| Data protection violations |
|
| Non-compliance with IT standards |
|
| Cybersecurity lapses |
|
The relevant personnel to this process are the same ones mentioned in earlier discussions. They are the ones managing or relating to the IP, ethics and privacy policies and procedures. These are the relevant personnel and reasons why you must recommend actions to them:
- Employees across departments - They may need training or instructions on revised policies to avoid incidents in the future.
- Legal and compliance teams - They implement any legal changes, clarifications or procedures arising from the incidents.
- Managers and team leaders - They must ensure that teams follow the recommended actions and enforce changes effectively.
- IT professionals - They help implement technological solutions or security measures to prevent future incidents.
- Policy developers or implementers - They develop and implement policies that may need to be updated or improved to reduce the risk of future non-compliance.
Recommend actions to relevant personnel to overcome non-compliance incidents. Here are some guidelines you can follow to present the recommendations:
- Prepare a clear recommendation document. Create a well-structured document for recommendations. It must outline the details of the non-compliance incident. Then, include its impact, the recommended actions and the rationale behind each action.
- Use formal communication channels. Use the organisation's formal communication channels to recommend actions. These may include official reports, emails or written memoranda. Ensure that a channel appropriate to the relevant personnel is chosen.
- Address the right audience. Ensure your recommendations reach the relevant personnel since they will address the incidents. You can refer to the previous list of relevant personnel.
- Provide a contextual introduction. Begin your recommendation by providing context. Explain the nature and significance of the non-compliance incident. This will help your audience understand the issue.
- Clearly state the recommendations. Present your recommendations clearly and straightforwardly. Use bullet points or numbered lists to make them easy to read.
- Explain the rationale. Provide a clear rationale for each recommended action. Explain why the action is necessary and how it will address the root causes.
- Prioritise actions. Consider indicating their priority if you have multiple recommendations. Highlight which actions should be taken immediately and which can be addressed over the long term.
Efforts for compliance are continuous. You have recommended actions to overcome existing noncompliance incidents. Now, you will determine areas of potential risks and non-compliance in the future. Then, you will report them to the relevant personnel. This helps the organisation know where or what to monitor to ensure compliance.
Determining potential risk areas is identifying and understanding the areas that may harm the organisation. It is the same process for potential non-compliance areas. However, the focus is on where the organisation may not follow regulatory standards or internal policies.
Here are some examples of areas of potential risks you must determine:
They are the dangers related to hacking or breaches in computer systems that could lead to information theft. You must determine them to prevent unauthorised access or malicious activities.
They are risks related to potential system failures, downtimes or data loss. Determining them will help ensure smooth operations without sudden disruptions.
They are risks linked to the mishandling or lack of protection of sensitive data and IP. Knowing if this area is at risk helps keep personal and critical information protected.
They are the potential problems from third-party software that could harm the system's security. When you determine this potential risk area, you ensure any added software will not put the system at risk.
They are risks connected to rapid technological changes. They may cause old systems to not work well with the new changes. Knowing this potential risk area will ensure all technology stays updated and relevant.
Here are some examples of areas of potential non-compliance:
| Data privacy and protection | Non-compliance with data protection laws can lead to mishandling of data or privacy breaches. Determining non-compliance in this area can help organisations prevent data and privacy breaches. |
| IP infringement | It violates copyright, patents or trademarks related to software or digital content. Knowing whether this area is non-compliant or not will ensure the rights of original creators. |
| Ethical use of technology | Non-compliance happens when employees do not behave fairly or morally with technology. You must determine non-compliance in this area to ensure responsible use of technology. |
| Ethical use of data | This includes ethical breaches in collecting, using or storing data from users or customers. Determining non-compliance in this area will help ensure respect for user's privacy when handling data. |
| Regulatory non-compliance | This is when the organisation fails to comply with laws and regulations for the ICT industry. You must know whether the organisation is compliant to prevent legal and regulatory violations. |
To determine areas of potential risks and non-compliance, review the results of risk identification and assessment. Then, refer to the list of areas of potential risks and non-compliance.
Once you determine the areas of potential risks and non-compliance, you must report them to the relevant personnel. Reporting means notifying the relevant personnel about the potential risk and non-compliance areas.
The personnel relevant to this process are those involved in managing and addressing issues. They include the following:
They ensure the organisation follow all applicable ICT laws and industry regulations. Some examples of personnel under this category include legal advisors and compliance officers.
They are directly involved in maintaining and securing technological infrastructure. They must be aware of the potential areas of risks and non-compliance to address them. Examples of IT professionals include the chief information officer and IT security managers.
They must know the potential risk and non-compliance areas to ensure corrective actions and compliance. Their engagement is crucial for implementation and monitoring.
They set and execute policies related to ICT practices. They must be updated with any potential risks and non-compliance. This ensures alignment between the internal policies and procedures and legal requirements.
Now, you can report the identified areas of potential risk and non-compliance to the relevant personnel. Here are the steps and guidelines you can follow for it:
Prepare a Comprehensive Report
Review the documented potential risks and non-compliance areas. Then, create a detailed report summarising potential risk and non-compliance areas. The report must also be well-structured and organised, with clear headings and sections for each area of concern. You may follow these guidelines when creating the report:
- Provide a clear introduction. Start the report with a clear and concise introduction. It must outline the purpose of the report, the methodology used to identify areas of risk and the importance of addressing these issues.
- Prioritise risks. Prioritise the identified risks based on their severity, likelihood and potential impact. Communicate which risks should be addressed urgently and which can be managed over the long term.
- Recommend actions. Provide concrete recommendations to address the identified risks and non-compliance concerns. Each recommendation should be actionable and specific. Also, explain the rationale and prioritisation of actions. You may use the steps for recommending actions to overcome non-compliance incidents as a reference.
Present the Findings
Present the findings to the relevant personnel once you have completed the report. You may distribute the report to the relevant personnel through any of the following:
- Email: Send the report via email to relevant individuals or teams. Ensure it includes a clear subject line, summary and key points in the body of the email. Then, attach the detailed report for their reference.
- Shared network drive or cloud storage: Upload the report to a shared network drive or cloud-based storage system accessible to all relevant departments or teams. Send out a notification email with the link and instructions for access.
- Dedicated portals or intranet: Publish the report on a dedicated company portal or intranet. Make sure it is available to specific groups or departments. Send notifications or announcements to inform relevant personnel about the report's availability.
- Physical copy: Print physical copies of the report and distribute them to individuals or departments. This method is particularly useful for those not primarily engaged with electronic communication. It may also be preferred for easy access and reference during meetings.
You may also hold a meeting or presentation to discuss the report in detail. Invite all relevant personnel and allow them to raise any questions about the report. Of course, answer and clarify the questions from the personnel.
To comply with IP, ethics and privacy policy procedures, you must first have copies of them. Locate the different types of policies and procedures within the organisation to determine and access them. Then, identify what you must do to protect and fulfil the policies and procedures.
Provide support and advice about the operations of the policies and procedures. Check whether the ICT employees follow the policies and procedures. Then, evaluate whether the policies and procedures perform their job. That is to prevent IP and privacy infringement.
Once done, you will seamlessly assist in maintaining policies and procedures. Develop and implement new policies and procedures after managing existing ones.
Lastly, share any potential risks and improvements with the relevant personnel. You can recommend actions to manage and overcome them. As compliance is a continuous effort, determine and report areas of potential risk and non-compliance.
Quiz
